Compliance Priorities - Municipal Securities and Trusted Contacts

Overview

Each year, FINRA provides firms with the information they may need to include in their compliance programs. This compliance course will provide an overview of the rules and obligations of firm operations that cover:

  • firm short positions and fails to receive in municipal securities
  • trusted contacts and positions of trust

Learning Objectives

Upon completing this course, you should understand compliance obligations regarding:

  • firm short positions and fails to receive in municipal securities
  • trusted contacts

Designed For

This course is designed for Registered Representatives 

Find this course for your license:

License or Certification

Regulator

Type